Structuring Your Regulation A+ Offering

04/14/2015 01:00 p.m. - 02:00 p.m. EDT

Corporate Finance | Capital Markets, Private Placements + PIPEs, and IPOs

David M. Lynn and Marty Dunn

Marty Dunn and David M. Lynn


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Harrison Lawrence
(212) 336-4004

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Now that the Securities and Exchange Commission has adopted final rules amending Regulation A, issuers, venture and private equity investors and financial intermediaries may want to consider a Regulation A offering as a capital-raising or as a liquidity opportunity. Although its availability is not limited to any particular industry sector, life sciences and biotech companies, community banks, and real estate businesses may find this alternative especially attractive. During our briefing session, we will provide an overview of the new rules and focus on Tier 2 offerings, permitting an issuer to raise up to $50 million in proceeds. We will address:

  • Eligibility requirements;
  • Preparation of disclosure materials;
  • Testing-the-waters and other communications issues;
  • Integration of offerings in close proximity;
  • Regulation A as a precursor to an IPO;
  • Use by selling stockholders; and
  • Obtaining a concurrent stock exchange listing.

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